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Regulations on Shenzhen Court of International Arbitration(for Trial Implementation)

Chapter I General Provisions

Article 1

The Regulations are enacted under the Regulations on Qianhai Shenzhen-Hong Kong Modern Service Industry Cooperation Zone and relevant laws and regulations with the purposes of innovating commercial dispute resolution mechanism, standardizing the operation of Shenzhen Court of International Arbitration (hereinafter “SCIA”), resolving commercial disputes both domestically and abroad and independently, impartially and efficiently, protecting the legitimate interests of the parties and promoting the construction of the advanced city of Shenzhen and Qianhai Shenzhen-Hong Kong Modern Service Industry Cooperation Zone.

Article 2

SCIA is an arbitral institution, concurrently using the name of South China International Economic and Trade Arbitration Commission which the Shenzhen Municipal People’s Government renamed according to law the China International Economic and Trade Arbitration Commission South China Sub-Commission that it had established.

SCIA is registered in the Qianhai Shenzhen-Hong Kong Modern Service Industry Cooperation Zone (hereinafter “Qianhai Cooperation Zone”). SCIA shall carry out the responsibility of the arbitration commission according to the law, and operate under the Regulations and the Statute of Shenzhen Court of International Arbitration (hereinafter “Statute”).

Article 3

SCIA is a non-profit statutory body operating as an independent public institution,

SCIA establishes a corporate governance system centered on the Council adopting effective balance mechanisms in decision making, implementation and supervision.

Article 4

SCIA shall promote cooperation and communication with relevant foreign and domestic industries and organizations, introduce advanced international commercial arbitration systems, and resolve contractual disputes and other property rights disputes amongst individuals, legal entities and other institutions from home and abroad impartially and reasonably.

SCIA may resolve disputes by means of arbitration, mediation, negotiation, experts review or other legitimate dispute resolutions agreed or requested by parties.

Chapter II Council

Article 5

The Council is the decision making body of SCIA.

Article 6

The Council shall be composed of eleven to fifteen members including one Chairman (hereinafter “Chairman”) and two to four Deputy Chairmen.

The members of the Council are assumed by well known persons from legal, business and other related fields, among whom those coming from foreign jurisdictions outside of Mainland China such as Hong Kong shall be no less than a third.

Article 7

Members of the Council are engaged by the Shenzhen Municipal People’s Government. The tenure of their employment is five years and they can be reappointed consecutively. The Chairman shall be appointed by the Shenzhen Municipal People’s Government in conformity with the necessary procedures.

Article 8

The functions of the Council shall be:

(1) To draft and amend the Statute, procedural rules of the Council, arbitration rules, mediation rules, and other dispute resolution rules;

(2) To nominate the candidates of Secretary General and Deputy Secretary General of SCIA;

(3) To review the establishment, modification and dismissal of special/professional committees, and making decisions on the staff employment for the special/professional committees;

(4) To make decisions on the panel of arbitrators, and review the appointment and non-appointment of arbitrators and experts specialized in other alternative dispute resolutions;

(5) To review the annual work report and reports of financial budget and statement;

(6) To review the plans for establishment and modification of internal bodies as well as staff scale;

(7) To draft and amend important internal regulations including, but not limited to, arbitrators remuneration rules, staff employment and remuneration rules, and performance evaluation mechanism; and

(8) To fulfil other functions stipulated in the Statute.

Article 9

The functions of the Chairman shall be:

(1) To convene and chair Council meetings;

(2) To examine the implementation of resolution of the Council;

(3) To organize the Council to make various important operating systems; and

(4) To fulfil other responsibilities stipulated in the Statue and the arbitration rules.

Article 10

Council meetings shall be held at least twice every year.

Council meetings shall be convened and chaired by the Chairman. The Chairman shall convene a Council meeting if necessary for work or upon written proposal of at least three members of the Council. The Deputy Chairman shall convene and moderate Council meeting on behalf of the Chairman if commissioned.

A Council meeting shall be convened with the participation of at least two-thirds of the members. Every decision shall be adopted with at least two-thirds majority vote of all the participating members. Amendment to the Statute shall be adopted with approval of at least three-fourths of all the members.

Chapter III Executive Authority

Article 11

SCIA shall have a Secretary General and a Deputy Secretary General, and SCIA may set up necessary internal departments in charge of the routine business of SCIA.

The Secretary General is the legal representative of SCIA, responsible for the management of daily affairs of SCIA, answerable to the Council and supervised by the Council. The Deputy Secretary General assists the Secretary General in the work.

Article 12

The Secretary General and the Deputy Secretary General are nominated by the Council and the Secretary General is nominated among the members of the Council.

According to administrative authority and procedure, the Secretary General and the Deputy Secretary General are appointed by the Shenzhen Municipal People’s Government.

Article 13

The Secretary General, with the assistance of the Deputy Secretary General, shall perform the following functions:

(1) Arranging implementation of the Council resolutions;

(2) Administrating arbitration procedural matters;

(3) Organizing trainings and examinations to arbitrators and other dispute resolution experts;

(4) Managing daily affairs;

(5) Making annual working reports, financial budget and final accounts report and internal bodies establishment plan, which shall be submitted to the Council for review;

(6) Deciding the post arrangement and terms of employment, and hire or dismiss staff of the internal bodies;

(7) Other responsibilities given by the Council and stipulated in the Statute, arbitration rules and other dispute resolution rules.

Chapter IV Dispute Resolution Rules and Formulation Principle

Article 14

In conformity with relevant laws, regulations and the Regulations, SCIA shall creatively set up the commercial dispute resolution mechanism and make arbitration rules, mediation rules, negotiation rules, experts review rules and other optional dispute resolution rules in light of the realities of Shenzhen Economic Special Zone and Qianhai Cooperation Zone.

SCIA shall set up the cooperation mechanism with foreign arbitral institutions and provide hearing facilities as well as certain procedural assistance for arbitration activities conducted in the Chinese Mainland by arbitral institutions outside Chinese Mainland

Article 15

SCIA shall appoint arbitrators according to legal requirements and procedures, and set up various panel of arbitrators by specialties.

The arbitrators appointed by SCIA from Hong Kong and other foreign jurisdictions outside the Chinese Mainland shall be no less than a third.

The foreign parties may agree on the application of SCIA arbitration rules or arbitration rules of other arbitration institutions at home and abroad or, Arbitration Rules of the United Nations Commission on International Trade Law, and they may agree on a modification of SCIA arbitration rules as well as the applicable law, the formation of arbitral tribunal, the conduct of hearing, the rules of evidence, the language of arbitration and the place of hearing or arbitration provided such agreement can be implemented and is not in conflict with a mandatory provision of the law as it applies to the arbitration proceedings.

Article 18

The parties may appoint arbitrators from among or outside the SCIA’s Panel of Arbitrators.

An arbitrator appointed by the parities from outside the SCIA’s Panel of Arbitrators may serve as the arbitrator, or the presiding arbitrator, or the sole arbitrator of the arbitration in dispute if he/she meets the conditions prescribed by law for arbitrator subject to the confirmation by SCIA.

Article 19

The arbitral tribunal shall arbitrate cases independently except for judicial supervision in conformity with laws and regulations and no institution or individual shall interfere.

SCIA shall set up strict professional ethical standards, information disclosure system and challenge system of arbitrators to ensure the independence and impartiality of arbitration.

Chapter V Financial and Human Resources System

Article 20

SCIA shall establish and perfect a financial and asset management system suitable for of public institution independent legal entity.

SCIA is funded by:

(1) Arbitration fees;

(2) Mediation and other forms of dispute resolution service charges;

(3) Other legitimate income.

Article 21

SCIA shall introduce a market-competitive employment mechanism to employ professionals from home or abroad as necessary and build a professional team in dispute resolution administration and services.

The internal bodies and employment scale are examined and approved by the Council and shall be registered with the Municipal institutional organization department for the record before implementation in accordance with relevant provisions. SCIA shall make decisions about establishing positions of the internal bodies, promotion and demotion, employment and termination of the staff based on employment contracts.

Article 22

SCIA shall set up a reasonable remuneration mechanism for arbitrators, a reasonable salary and incentive scheme for staff members as well as payment and remuneration appraisal mechanism in references to international practices and industry standards.

Staff members of SCIA participate in the social insurance such as old age insurance, medical insurance, unemployment insurance, and employment injury insurance, maternity and enjoy housing fund, annuity and so on according to related provisions of the Municipality.

The parties’ application for property preservation, evidence preservation and confirmation of the validity of arbitration agreement involving SCIA shall be submitted to a competent court for judicial review in accordance with relevant laws and regulations.

Where the parties apply to set aside, enforce or refuse the enforcement of the SCIA arbitration awards in China, or apply for the recognition and enforcement of the SCIA arbitration awards in foreign jurisdictions, relevant laws and international treaties shall be applied.

Article 24

SCIA shall set up the following specialized committees:

(1) The Arbitrator Qualification and Discipline Supervision Committee, which examines the qualifications of arbitrators, supervises arbitrators’ professional ethics, and advises the Council on disqualification or re-appointment of arbitrators;

(2) The Remuneration Committee, which evaluates and supervises the remuneration system for arbitrators and salary scheme for staff members regularly.

Article 25

The Council of SCIA shall supervise and inspect the executive authority on its working efficiency and effect, and shall regularly evaluate the performance of the Secretary General and the Deputy Secretary General.

Article 26

SCIA shall be subject to finance and audit supervision.

Article 27

SCIA shall disclose the following information on the website for public inquiry and social supervision:

(1) Annual working reports and financial budget and statement reviewed by the Council;

(2) Rules of dispute resolution, service procedures, fee schedules and form documents;

(3) Educational background and work experience of arbitrators, mediators and other dispute resolution experts;